<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/10/21?registers=between Sat, 28 Jun 2025 05:39:18 -0700 Sat, 28 Jun 2025 05:39:18 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/10/21?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-23108.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-23108.html Thu, 21 Oct 2021 00:00:00 -0700 2021-23108 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-23108.pdf Notice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22943.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22943.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22943 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22943.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22942.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22942.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22942 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22942.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22941.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22941.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22941 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22941.pdf Notice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22940.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22940.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22940 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22940.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22939.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22939.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22939 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22939.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22938.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22938.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22938 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22938.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22937.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22937.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22937 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22937.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22936.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22936.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22936 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22936.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22935.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22935.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22935 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22935.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22934.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22934.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22934 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22934.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22933.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22933.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22933 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22933.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22932.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22932.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22932 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22932.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22931.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22931.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22931 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22931.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22930.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22930.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22930 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22930.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22929.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22929.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22929 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22929.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22928.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22928.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22928 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22928.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its Lead Market-Maker Incentive Programs https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22927.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22927.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22927 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22927.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22926.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22926.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22926 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22926.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22925.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22925.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22925 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22925.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22924.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22924.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22924 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22924.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22923.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22923.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22923 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22923.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Current Pilot Program Related To Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22922.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22922.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22922 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22922.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22921.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22921.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22921 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22921.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22906.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22906.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22906 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22906.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22905.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22905.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22905 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22905.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22904.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22904.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22904 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22904.pdf Notice - For Submission Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22902.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22902.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22902 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22902.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22900.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22900.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22900 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22900.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22899.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22899.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22899 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22899.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22898.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22898.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22898 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22898.pdf Proposed Rule - Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22754.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22754.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22754 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22754.pdf